Regulatory reform

Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

The first phase of FINRA's pilot program for continuing remote branch inspections drew the most interest from firms with 500 representatives or more.

Industry groups say RIAs are receiving SEC letters inquiring about compliance with the new T+1 settlement rule for stock and bond trades.

Former President Trump is disavowing the conservative blueprint, which advocates for radical shifts in regulations and taxes that would reverberate in the industry.

A broker argues the Supreme Court's recent decision in the Jarkesy case means he should get to defend himself against fraud allegations before a jury.

A federal judge agrees with plaintiffs that the Federal Trade Commission lacks authority to set rules on unfair competition.

The high court ruling deals a serious blow to a system that critics contended had allowed regulators to act as proverbial judge, jury and executioner.

Yext's CEO said his firm could have tried building its own in-house compliance software. Instead, it found exactly what it needed at Hearsay Systems.

The terminations come amid a renewed push by firms to haul employees back into the office.

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.